Taking Root in Foreign Soil: Adaptation Processes of Imported Universities By Terrence F. Graham B.A. in International Studies and English, December 1992, University of Dayton M.A.in Slavic Languages, Literatures, and Linguistics, August 1996, The Ohio State University A Dissertation submitted to The Faculty of the Graduate School of Education and Human Development of The George Washington University in partial fulfillment of the requirements for the degree of Doctor of Education August 31, 2016 Dissertation directed by Roger Whitaker Professor of Higher Education and of Sociology The Graduate School of Education and Human Development of The George Washington University certifies that Terrence F. Graham has passed the Final Examination for the degree of Doctor of Education as of June 10, 2016. This is the final and approved form of the dissertation. Taking Root in Foreign Soil: Adaptation Processes of Imported Universities Terrence F. Graham Dissertation Research Committee: Roger Whitaker, Professor of Higher Education and of Sociology, Dissertation Director Mikyong Minsun Kim, Associate Professor of Higher Education, Committee Member Laura C. Engel, Assistant Professor of International Education and International Affairs, Committee Member ii © Copyright 2016 by Terrence F. Graham All rights reserved iii Dedication To Yulia iv Acknowledgements Many friends and colleagues lent their support and guidance along my journey. My adviser, Roger Whitaker, struck the right balance of patience and persistent pressure to keep me on task. My colleagues at American Councils, in particular David Patton and Dan Davidson, provided mentorship and allowed me the flexibility I needed to complete my data collection. At California State University, Long Beach, Jeet Joshee provided encouragement and support. I am especially grateful to the many colleagues at the American University in Bulgaria, the American University of Central Asia, and South East European University who shared with me their viewpoints and many cups of strong coffee. I want to express special thanks to Luan Estrefi in Tetovo for welcoming me with warm hospitality and showing me the village his family had lived in for generations; Sven Stafford in Bishkek, who connected me with international education development colleagues and showed me a new perspective on the game of golf; and American Councils colleagues who shared their in-country knowledge with me and made introductions: Lydia Dachkova in Sofia, Cale Wagner and Rebecca Gordon in Bishkek, Velikova Angelkova in Skopje and her husband Dane. v Abstract of Dissertation Taking Root in Foreign Soil: Adaptation Processes of Imported Universities The fall of the Berlin Wall in 1989 ushered in a period of change in higher-education systems across the former Eastern bloc. Reform-minded leaders in the region sought to introduce western models and policies promoted by foreign development aid agendas. Private higher-education institutions emerged. This qualitative multiple case study examines three universities based on the western, private, nonprofit model that were established during the post-Cold War transition period: the American University of Central Asia (Kyrgyz Republic), South East European University (Macedonia), and the American University in Bulgaria. These institutions, founded through a process of negotiation involving the national government, U.S. and European governments, and nongovernmental organizations, offered an alternative to state universities. This negotiation continued as these institutions adapted to their changing sociopolitical contexts. The study explores the interplay of global, national, and local influences at the level of these institutions. The research presented is based on data collected on field visits through interviews with faculty and administrators and focus groups with students, as well as document analysis. Findings from the study shed light on how new institutions strive to establish legitimacy. The financial support for these institutions evolved from an initial heavy dependence on support from foreign aid agencies to greater reliance on tuition and responsiveness to the higher education market. The ability to adapt to shifting circumstances while maintaining a consistent sense of identity, despite turnover of faculty and administrators, proved vital. These universities, to varying degrees, were able to strike a balance between the global and local that allowed them to establish themselves as vi highly regarded institutions in their respective countries. As interest in transnational education grows, this study offers insights into finding a balance between global and local that results in a sustainable higher education endeavor. vii Table of Contents Dedication ......................................................................................................................... iv Acknowledgements ............................................................................................................ v Abstract of Dissertation .....................................................................................................vi List of Figures ....................................................................................................................ix List of Tables ......................................................................................................................x Chapter I: The Problem and Its Setting ……….......................…..……….........……….....1 Chapter II: Review of the Literature ………………………………………….……..…..21 Chapter III: Methods ……………………………………………………………...……..53 Chapter IV: Results …………………...…………………………………………...….....79 Chapter V: Discussion, Conclusions, Recommendations ………………………...…....207 Appendix A: Project Overview for Participants .............................................................255 Appendix B: Informed Consent Form ............................................................................256 Appendix C: Faculty Interview Protocol ........................................................................262 Appendix D: Focus Group Interview Protocol ...............................................................265 Appendix E: Stakeholder Interview Protocol .................................................................267 Appendix F: Sample Permission Request Sent to University President/Rector .............269 Appendix G: Sample Emails Requests for Interviews/Focus Groups ............................270 References .......................................................................................................................273 viii List of Figures Figure 2.1...........................................................................................................................40 Figure 2.2...........................................................................................................................46 ix List of Tables Table 2.1 ...........................................................................................................................49 Table 3.1 ...........................................................................................................................60 Table 3.2 ...........................................................................................................................65 Table 3.3 ...........................................................................................................................72 Table 4.1 ...........................................................................................................................85 Table 4.2 .........................................................................................................................122 Table 4.3 .........................................................................................................................144 Table 5.1 .........................................................................................................................228 x Chapter I: The Problem and Its Setting In his influential chronicle on globalization, The World is Flat, journalist Thomas Friedman argued that two dates have powerfully shaped the world in the past quarter century: 11/9 and 9/11. The latter date refers to the terrorist attacks on the United States in September 2001. The former refers to the fall of the Berlin Wall in November 1989. Friedman sees these dates as signals of countervailing impulses—one associated with destruction, violence, and pessimism; the other with creativity, the opening up of new possibilities, and optimism. The dismantling of the Berlin Wall was an action that was undertaken by individuals “who dared to imagine a different, more open world,” one in which people would be free to realize their full potential (Friedman, 2005, p. 441). The impulse for change across the countries east of the Berlin Wall sparked a reimagining of higher education. Many higher-education systems looked to the west for fresh ideas and models for higher education better suited to the demands of a globalized, market-based world economy. This research seeks a better understanding of this process of reimagining higher education. National systems of education, as well as individual institutions, responded to these changes in different ways. Demand for higher education was growing (Altbach, Reisberg, & Rumbley, 2009), leading to the proliferation of different institutional models. Privatization of higher education, often driven by neoliberal economic policies, became common. Branch